ALAN SIDNEY PEARLSTEIN is currently employed as a Broker and/or Investment Adviser at ROYAL ALLIANCE ASSOCIATES, INC. located at 16130 VENTURA BOULEVARD, SUITE 510, STE. 510, ENCINA, CA, 91436.
ALAN SIDNEY PEARLSTEIN has worked at ROYAL ALLIANCE ASSOCIATES, INC. since April 02, 2015
ALAN SIDNEY PEARLSTEIN has 2 Disclosure Event(s).
Date: June 16, 2000 Category: Customer Dispute Allegations: ALLEGED THAT DEFENDANT COMMITTED PROFESSIONAL NEGLIGENCE AND BREACH OF FIDUCIARY DUTY BY AGENT IN HIS PENSION ADMINISTRATION AND IN HIS INVOLVEMENT IN THE WITHDRAWAL OF A LIFE INSURANCE POLICY FROM A PENSION PLAN.AMPLE DEFENSES TO THE ALLIGATIONS HAVE BEEN PRESENTED, MOST OF THE ALLEGATIONS ARE BASED ON ACTS OF OMISSION BY OTHERS. Settlement Amount: $1,750,000.00 Broker Comment: CASE SETTLED WITHOUT ADMISSION OF LIABILITY WHATSOEVER OF ANY OF THE PARTIES. HERETO BUT TO THE CONTRARY REPRESENTS A COMPROMISE OF ASSERTED CLAIMS, WHICH ARE EXPRESSLY CONTESTED, DISPUTED AND DENIED.
Date: July 20, 1979 Category: Regulatory Initiated By: CALIFORNIA DEPARTMENT OF INSURANCE Allegations: KNOWINGLY MAKING FALSE AND MISLEADING REPRESNTATIONS TO A PERSON FOR THE PURPOSE OF INDUCING SUCH PERSON TO TAKE OUT A POLICY OF INSURANCE AND KNOWINGLY MAKING MISLEADING REPRESENTATIONS AND COMPARISONS OF INSURANCE FOR THE PURPOSE OF INDUCING SUCH PERSON TO CHANGE HIS INSURANCE. Resolution: Other SanctionDetails: Sanctions: Monetary/Fine SanctionDetails: Amount: $500.00 Sanction Details: FINED $500.00. Broker Comment: LETTER TO INSURANCE AGENT FROM OFFICER OF LIFE INSURANCE COMPANY REGARDING DISABILITY CARRIER TO REPLACE IN FORCE POLICY. LETTER CONTAINED FINANCIAL INFORMATION OF REPLACING CHANGE - INFORMATION THAT WAS QUOTED BY AGENT IN HIS LETTER TO CLIENT.
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